Eric J. Miller
Professional summary
Eric Joseph Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Eric had worked at 7 firms, which includes SCOTTSDALE CAPITAL ADVISORS CORP, ROCKY MOUNTAIN SECURITIES & INVESTMENTS INC., D.E. FREY & COMPANY INC., SPENCER EDWARDS INC., FAIRCHILD FINANCIAL GROUP INC., SCHARFF & JONES INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2015 - April 1, 2016
SCOTTSDALE CAPITAL ADVISORS CORP
February 7, 2012 - October 1, 2014
SCOTTSDALE CAPITAL ADVISORS CORP
January 20, 1996 - May 29, 1996
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
June 21, 1994 - January 3, 1996
D.E. FREY & COMPANY, INC.
March 16, 1994 - March 29, 1994
SPENCER EDWARDS, INC.
March 16, 1994 - June 27, 1994
FAIRCHILD FINANCIAL GROUP, INC.
August 22, 1989 - September 21, 1990
SCHARFF & JONES, INC.
July 26, 1988 - July 27, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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